Marex Financial

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FRN: 442767
Date authorised: 1 April 2013
Companies House: 05613061
Last scraped: 2 weeks ago

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Addresses

The contact details this firm has registered with the FCA.

Principal Place of Business

Marex

155 Bishopsgate

London

City Of London

EC2M 3TQ

UNITED KINGDOM

Phone

+442076556000

Web

https://www.marex.com
Complaints Contact

Marex

155 Bishopsgate

London

City Of London

EC2M 3TQ

UNITED KINGDOM

Phone

+442076556000

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

Private Fund Guardian
Show 3 limitations Hide limitations
- · The firm must act as a trustee or depositary of non-EEAs AIFs only
- · The firm must act as a trustee or depositary of non-EEA AIFs only and perform the safekeeping function only
- · The firm can perform only the depositary functions specified.
P2P Lending Advice

For Eligible Counterparty, Professional
Investment Advice (no pensions)

For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant
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- · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.
Authorised to Operate
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- · The firm can only agree to carry on the regulated activities specified in this Notice.
Arranges Investments

For Eligible Counterparty, Professional, Retail (Investment), Binary Bet, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Emissions Allowance, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant
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- · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.
Arranges Asset Safekeeping

For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant
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- · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.
Trade Settlement Routing

For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant
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- · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.
Stockbroking

For Eligible Counterparty, Professional, Retail (Investment), Binary Bet, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Emissions Allowance, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant
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- · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.
Trades With You Directly

For Eligible Counterparty, Professional, Retail (Investment), Binary Bet, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Emissions Allowance, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant
Show 1 limitation Hide limitations
- · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.
Investment Setup

For Eligible Counterparty, Professional, Retail (Investment), Binary Bet, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Emissions Allowance, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant
Show 1 limitation Hide limitations
- · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.
Manages Your Portfolio

For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant
Show 1 limitation Hide limitations
- · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.
Holds Your Assets

For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant
Show 1 limitation Hide limitations
- · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.
Electronic Trade Settlement

For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant
Show 1 limitation Hide limitations
- · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

Nicholas James Patrick Riley
IRN NJR01053
- CF30 Customer (1 Nov 2007 to 24 May 2013)
- CF21 Investment Adviser (13 Jan 2006 to 31 Oct 2007)
Nicholas John Buckmaster
IRN NJB01117
- CF30 Customer (9 Mar 2011 to 20 Apr 2012)
Nicholas John McClements
IRN NJM01184
- CF30 Customer (9 Jan 2009 to 2 Oct 2017)
Nicholas Jonathan Winpenny
IRN NJW01146
- CF30 Customer (28 Jan 2016 to 8 Dec 2019)
Nicholas Paul Shane McHale
IRN NPM01033
- CF30 Customer (31 Aug 2011 to 28 Feb 2013)
Nicholas Rhys Nash Lygoe
IRN NRL01025
- CF30 Customer (28 Feb 2017 to 8 Dec 2019)
Nicholas Richard Croft
IRN NRC01024
- CF22 Investment Adviser (Trainee) (13 Jan 2006 to 14 Feb 2006)
- CF26 Customer Trading (13 Jan 2006 to 14 Feb 2006)
- CF21 Investment Adviser (13 Jan 2006 to 14 Feb 2006)
Nick Fuller
IRN NJF01111
- [FCA CF] Client dealing (since 7 Jun 2023)
Nick Jones
IRN NXJ00140
- [FCA CF] Material risk taker (since 12 Jan 2023)
Nigel John Wakefield
IRN NJW01134
- CF30 Customer (5 Nov 2014 to 3 Jun 2016)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Elpis Derivatives Limited (no longer appointed)
FRN 572745 · Appointed 13 May 2015 · Until 31 Mar 2017
Domex Invest Limited (no longer appointed)
FRN 625570 · Appointed 12 Jun 2014 · Until 5 Dec 2017
JVA Brokers Limited (no longer appointed)
FRN 610589 · Appointed 20 Nov 2013 · Until 11 Jul 2019
Elpis Derivatives Limited (no longer appointed)
FRN 572745 · Appointed 4 Oct 2013 · Until 31 Mar 2014
Manro Haydan Brokers Ltd (no longer appointed)
FRN 471392 · Appointed 9 Aug 2007 · Until 21 Mar 2011
Trafalgar Commodities Ltd (no longer appointed)
FRN 453023 · Appointed 8 Jun 2006 · Until 30 Jun 2011
Delphi Derivatives Ltd (no longer appointed)
FRN 447737 · Appointed 6 Feb 2006 · Until 15 Nov 2017 · Tied agent

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.

What it all means

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.